FA News Articles

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Finra, States Mull New System To Clean Up Brokers' Records

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Finra and Nasaa have been engaged in preliminary discussions about whether to revamp the process that most brokers use for requesting "expungements."

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Advisor Pleads Guilty To Allocating Himself The Good Deals

by FA Staff

An investment advisor pleads guilty to fraud for operating a securities cherry-picking scheme.

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U.S. Treasury Encouraging Retirement Savers To Buy Annuities

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The U.S. Treasury Department said on Friday it was tweaking its policy for retirement funds to encourage savers to buy annuities, a measure aimed to keep them from outliving their savings.

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Inflows To U.S.-Based Stock Mutual Funds Outpace ETFs

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Investors in U.S.-based stock funds added net new cash to mutual funds in the week ended Oct. 22, a sharp contrast to the net withdrawals from ETFs over the same period.

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Why Clients Will Want More ETFs

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If the recent volatility in the markets persists, it will likely push more investors toward ETFs, says the managing director of ETF research for Charles Schwab Investment Advisory.

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United Capital Adds Firm

by FA Staff

Valley Wealth joins $10 billion United Capital.

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SEC Responds To Market Volatility By Ramping Up Bond-Fund Exams

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Surging market volatility is making regulators increasingly concerned that bond funds have loaded up on hard-to-sell assets.

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IRS Increases Allowed Retirement Plan Contributions For 2015

by FA Staff

Taxpayers can now put aside a little more toward their retirement in 2015, according to the agency.

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Small-Cap Value Now Looks Good

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Now it’s time for small-cap stocks to get in their big innings.

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Global Regulators Agree New Capital Yardstick For Insurers

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Global regulators have written the first global capital rule for insurers, marking a key milestone in efforts since the 2007-09 financial crisis.

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